DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Feed of 09/14/2026
Also filed as Emily Ann Cunningham
At current firm
7 y
since Jul 9, 2019
In the industry
13 y
since Sep 1, 2013 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Morgan Stanley wirehouse currentsince Jul 9, 2019 · Greenwich, Ct
- UBS Financial Services Inc. wirehouseJun 25, 2018 to Jun 10, 2019 · Purchase, Ny
- People'S United Advisors, Inc. formerMay 21, 2018 to Jun 18, 2018 · Shelton, Ct
- People'S Securities, Inc. formerAug 24, 2016 to Jun 18, 2018 · Bridgeport, Ct
Moves
a registration end followed by a registration begin elsewhere
- UBS Financial Services Inc. to Morgan Stanleyleft Jun 10, 2019, registered Jul 9, 2019 (29 days) · Wirehouse to wirehouse · moved with a team
- People'S Securities, Inc. to People'S United Advisors, Inc.left Jun 18, 2018, registered May 21, 2018 (-28 days) · Other
- People'S United Advisors, Inc. to UBS Financial Services Inc.left Jun 18, 2018, registered Jun 25, 2018 (7 days) · RIA to wirehouse
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address